Senior Compliance Specialist, Wells Fargo

Wells Fargo

Location:
United States, Charlotte

Category:
Finance

Contract Type:
Employment contract

Salary:

87000.00 - 140000.00 USD / Year

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Job Description:

Wells Fargo is seeking a Senior Compliance Specialist in Corporate and Investment Banking (CIB) Compliance to support various topics within the Cross Asset Team. The Senior Compliance Specialist will be responsible for managing topics across regions and asset classes, while collaborating with stakeholders to ensure consistent oversight and challenge. You will be assisting various CIB Compliance coverage teams, a CIB subject matter expert (SME), engaging the Front Line, and liaising with enterprise functions. The role will be responsible for the successful completion of program activities, identifying emerging risks, and implementing enhancements to strengthen the CIB framework.

Job Responsibility:

Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
Oversee the Front Line's execution and challenges appropriately on compliance related decisions
Provide oversight and monitoring of risk-based compliance programs
Develop and oversee standards
Provide subject matter expertise with comprehensive knowledge of business and functional area
Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Identify and recommend opportunities for process improvement and risk control development
Report findings and make recommendations to management appropriate committees
Interpret policies, procedures, and compliance requirements
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Work with complex business units, rules and regulations on moderate risk compliance matters

Requirements:

4+ years of Compliance experience, or equivalent demonstrated through work experience, training, military experience, education
1+ years of experience covering cross asset regulations (e.g., Volcker, Reg W), cross border, digital assets, crypto, product controls (e.g., trader mandates, transaction monitoring), disclosures, supervision, unauthorized trading (e.g., remote booking), data management, data domains, non-financial regulatory reporting, recordkeeping, artificial intelligence (AI), qualified financial contracts (QFC), preferably in a risk management capacity
1+ years of experience with investment banking, capital markets syndications, leveraged finance, global markets (FICC, Equities), preferably in a risk management capacity
1+ years of risk management experience within financial services industry, and familiar with framework and procedures for monitoring activities and risk appetite measurement executed by Risk Type and Business Aligned Oversight teams
Excellent verbal, written, and interpersonal communication skills
1+ years of experience working with Broker Dealers, and associated regulators (e.g., investment banking, financial markets, Broker-Dealer, Swap Dealer, Futures Commission Merchant, asset-backed finance, and securitization)
1+ years of experience in or with the Front Line in defining and executing supervisor responsibilities
Experience with change management, for example implementing a new regulation, policy, framework
1+ years of experience working within Compliance program infrastructure including regulatory requirements and associated risk management policy, procedures, and risk ratings
Ability to collaborate with Compliance program owners, business and support partners, and other teammates to solve business problems
Knowledge of generating, analyzing, and escalating key risk and performance indicators to drive process enhancements and strategic decision making

Nice to have:

Experience covering cross asset regulations
Experience with investment banking, capital markets syndications, leveraged finance, global markets
Risk management experience within financial services industry
Experience working with Broker Dealers and associated regulators
Experience with change management
Experience working within Compliance program infrastructure

What we offer:

Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance, critical illness insurance, and accident insurance
Parental leave
Critical caregiving leave
Discounts and savings
Commuter benefits
Tuition reimbursement
Scholarships for dependent children
Adoption reimbursement

Additional Information:

Job Posted:
September 28, 2025

Expiration:
September 29, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Senior Compliance Specialist